Broker Dealer Jobs in USA with Visa Sponsorship
Broker dealer roles qualify as specialty occupations under H-1B visa, requiring a bachelor's degree in finance, economics, or a related field. Employers file a Labor Condition Application before sponsoring, and FINRA licensing requirements add a credential layer most other visa-sponsored roles don't have. For detailed occupation requirements, see the O*NET profile.
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Get Access To All JobsLocation: Southlake, TX ; Chicago, IL
Requisition ID 2026-129889
Category Legal & Compliance
Position type Regular
Pay range USD $120,000.00 - $165,000.00 / Year
Application deadline 2026-11-13
Your opportunity
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in one of the specified locations. Join a highly visible Compliance team that helps protect client trust and the integrity of Schwab’s broker-dealer business. As the Senior Manager, Compliance – Broker-Dealer Program Lead, you will help shape and strengthen the compliance program for Charles Schwab & Co., Inc. (CS&Co), with a particular focus on FINRA Rules 3120 and 3130.
This is an opportunity to lead work that matters across the firm. You will bring together regulatory insight, strategic thinking, and strong partnerships to support key broker-dealer obligations, enhance the program’s supporting infrastructure, and provide senior and executive leaders with clear perspectives on compliance risk. Your work will help Schwab anticipate evolving expectations, strengthen controls, and make informed decisions while continuing to serve clients with integrity.
In this role, you will:
- Lead critical deliverables associated with Schwab’s broker-dealer compliance program and applicable regulatory obligations.
- Develop meaningful reporting and presentations for senior and executive leadership.
- Guide the governance of designated supervisory principal information and related program requirements.
- Strengthen the processes, tools, controls, and infrastructure that support the program.
- Create training and communication strategies that help Compliance colleagues understand and fulfill program responsibilities.
- Identify opportunities to modernize the program, improve effectiveness, and respond to changing business and regulatory needs.
- Evaluate internal and external control inputs to help ensure compliance risks are appropriately identified and addressed.
- Build strong partnerships across Schwab Compliance, Corporate Risk Management, Internal Audit, and first-line business teams.
You will gain broad exposure to Schwab’s business and risk functions while collaborating with colleagues across multiple lines of defense. For a compliance professional who enjoys solving complex problems, influencing at senior levels, and turning regulatory expectations into sustainable business practices, this role offers a meaningful opportunity to grow and make an enterprise-wide impact.
What you have
Required Qualifications:
- 7 or more years of financial services industry experience, including at least five years in a Compliance or Risk role.
- Working knowledge of broker-dealer regulatory standards.
- Experience leading projects or cross-functional initiatives with defined deliverables, stakeholders, and accountability.
- Experience managing multiple concurrent initiatives and deadlines.
- Experience creating written communications, reports, or presentations for business or leadership audiences.
- Experience working with cross-functional partners to implement process, control, or organizational change.
- Experience evaluating compliance or risk issues and providing an independent risk management perspective.
Preferred Qualifications:
- FINRA Series 7 license.
- FINRA Series 24 license.
- Knowledge of FINRA Rules 3120 and 3130.
- Experience supporting a broker-dealer compliance program.
- Experience preparing compliance or risk reporting for senior or executive leadership.
- Experience developing compliance training or communication strategies.
- Experience partnering with Corporate Risk Management, Internal Audit, or first-line business teams.
- Experience improving compliance processes, controls, tools, or supporting infrastructure.
What’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
Eligible Schwabbies receive
- Medical, dental and vision benefits
- 401(k) and employee stock purchase plans
- Tuition reimbursement to keep developing your career
- Paid parental leave and adoption/family building benefits
- Sabbatical leave available after five years of employment
Location: Southlake, TX ; Chicago, IL
Requisition ID 2026-129889
Category Legal & Compliance
Position type Regular
Pay range USD $120,000.00 - $165,000.00 / Year
Application deadline 2026-11-13
Your opportunity
At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together. We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in one of the specified locations. Join a highly visible Compliance team that helps protect client trust and the integrity of Schwab’s broker-dealer business. As the Senior Manager, Compliance – Broker-Dealer Program Lead, you will help shape and strengthen the compliance program for Charles Schwab & Co., Inc. (CS&Co), with a particular focus on FINRA Rules 3120 and 3130.
This is an opportunity to lead work that matters across the firm. You will bring together regulatory insight, strategic thinking, and strong partnerships to support key broker-dealer obligations, enhance the program’s supporting infrastructure, and provide senior and executive leaders with clear perspectives on compliance risk. Your work will help Schwab anticipate evolving expectations, strengthen controls, and make informed decisions while continuing to serve clients with integrity.
In this role, you will:
- Lead critical deliverables associated with Schwab’s broker-dealer compliance program and applicable regulatory obligations.
- Develop meaningful reporting and presentations for senior and executive leadership.
- Guide the governance of designated supervisory principal information and related program requirements.
- Strengthen the processes, tools, controls, and infrastructure that support the program.
- Create training and communication strategies that help Compliance colleagues understand and fulfill program responsibilities.
- Identify opportunities to modernize the program, improve effectiveness, and respond to changing business and regulatory needs.
- Evaluate internal and external control inputs to help ensure compliance risks are appropriately identified and addressed.
- Build strong partnerships across Schwab Compliance, Corporate Risk Management, Internal Audit, and first-line business teams.
You will gain broad exposure to Schwab’s business and risk functions while collaborating with colleagues across multiple lines of defense. For a compliance professional who enjoys solving complex problems, influencing at senior levels, and turning regulatory expectations into sustainable business practices, this role offers a meaningful opportunity to grow and make an enterprise-wide impact.
What you have
Required Qualifications:
- 7 or more years of financial services industry experience, including at least five years in a Compliance or Risk role.
- Working knowledge of broker-dealer regulatory standards.
- Experience leading projects or cross-functional initiatives with defined deliverables, stakeholders, and accountability.
- Experience managing multiple concurrent initiatives and deadlines.
- Experience creating written communications, reports, or presentations for business or leadership audiences.
- Experience working with cross-functional partners to implement process, control, or organizational change.
- Experience evaluating compliance or risk issues and providing an independent risk management perspective.
Preferred Qualifications:
- FINRA Series 7 license.
- FINRA Series 24 license.
- Knowledge of FINRA Rules 3120 and 3130.
- Experience supporting a broker-dealer compliance program.
- Experience preparing compliance or risk reporting for senior or executive leadership.
- Experience developing compliance training or communication strategies.
- Experience partnering with Corporate Risk Management, Internal Audit, or first-line business teams.
- Experience improving compliance processes, controls, tools, or supporting infrastructure.
What’s in it for you
At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you – both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
Eligible Schwabbies receive
- Medical, dental and vision benefits
- 401(k) and employee stock purchase plans
- Tuition reimbursement to keep developing your career
- Paid parental leave and adoption/family building benefits
- Sabbatical leave available after five years of employment
See all 1,218+ Broker Dealer Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Broker Dealer roles.
Get Access To All JobsTips for Finding Broker Dealer Jobs
Align your degree to the role
USCIS scrutinizes whether your degree directly relates to broker dealer duties. A finance, economics, or accounting degree strengthens your specialty occupation case. A general business degree can work but may trigger a Request for Evidence.
Get your FINRA licenses sorted early
Series 7 and Series 63 licenses take weeks to obtain and require employer sponsorship from a FINRA member firm. Start the licensing process as soon as you have an offer, since delays can push back your H-1B filing timeline significantly.
Search verified broker dealer sponsors on Migrate Mate
Broker dealer sponsorship is concentrated in specific firms with active LCA filing histories. Migrate Mate surfaces employers with verified sponsorship records, so you're targeting firms that have actually filed for roles like yours, not just firms that might consider it.
Verify prevailing wage before negotiating your offer
Your employer must pay at least the DOL prevailing wage for your location and role level. Use the OFLC Wage Search to look up the wage tier for your city before you negotiate, so you can confirm the offer meets the LCA requirement.
Confirm the firm is registered as an H-1B employer
Some boutique broker dealers have never filed H-1B petitions before. Ask HR whether the firm has an existing relationship with an immigration attorney and has filed I-129 petitions previously, since first-time filers face longer lead times and setup costs.
Use O*NET to document your specialty occupation
If your employer needs to demonstrate that the broker dealer role requires a specific degree, O*NET lists the typical education requirements for securities and commodities sales agents. Your attorney can cite this in the H-1B petition to support the specialty occupation argument.
Frequently Asked Questions
Does a broker dealer role qualify as a specialty occupation for H-1B?
Yes, broker dealer positions typically qualify because the role requires specialized knowledge in securities, financial markets, or investment products and a bachelor's degree in a directly related field such as finance or economics. USCIS evaluates the specific job duties and degree requirement on a case-by-case basis, so your employer's petition must clearly tie your degree field to the daily responsibilities of the role.
Do I need FINRA licenses before my employer can sponsor my visa?
You don't need FINRA licenses before the H-1B petition is filed, but most broker dealer firms require them before you can perform licensed activities. Since FINRA requires a sponsoring member firm to register you for the Series 7 or Series 63 exams, you'll need an offer in hand first. Plan for the licensing process to run concurrently with your visa sponsorship timeline rather than before it.
Which visa types are realistic for broker dealer roles?
H-1B is the most common path for broker dealer candidates from any country. Australian nationals can also pursue the E-3 visa, which has no lottery and a 10,500 annual cap that has never been exhausted. Canadians and Mexicans may qualify under TN visa if the role fits the USMCA economist or accountant categories, though many broker dealer positions don't map cleanly onto those categories. Green card sponsorship through EB-2 or EB-3 is possible for long-term employees.
How do I find broker dealer employers that actively sponsor visas?
Migrate Mate lists broker dealer employers with verified LCA filing histories, so you can focus your search on firms that have already committed to sponsoring candidates in similar roles. This saves significant time compared to applying broadly and discovering after multiple interview rounds that a firm doesn't sponsor.
Can a broker dealer employer require me to repay visa costs if I leave early?
DOL regulations prohibit H-1B employers from deducting or recovering H-1B filing fees from an employee's wages, and the employer must cover mandatory costs like the I-129 filing fee and LCA expenses. Some employers attempt to include repayment agreements for discretionary costs like attorney fees, but these are legally contested. Review any repayment clause with an immigration attorney before signing your employment agreement.
What is the prevailing wage requirement for sponsored Broker Dealer jobs?
U.S. employers sponsoring a visa must pay at least the prevailing wage, which is what workers in the same role, area, and experience level typically earn. The Department of Labor sets this rate to make sure companies aren't hiring foreign workers simply because they'd accept lower pay than a U.S. worker. It varies by job title, location, and experience. You can look up current prevailing wage rates for any occupation and location using the OFLC Wage Search page.